Compliance Coordinator & Financial Analyst

deVere Acuma; United Arab Emirates; On-site; AED 180,000 - 300,000; Full time

Job summary

deVere Acuma in Dubai seeks a Compliance Coordinator & Financial Analyst to oversee regulatory matters and deliver rigorous financial analyses in an international wealth management setting. You will perform compliance calls, document findings, and support the preparation of financial advice while ensuring CMA requirements are met and quality assurance standards are maintained.

This dual-role position offers a varied, responsible workload across compliance, analytics and client service within a

Qualifications

• University degree/certificate; and
• At least 3 years experience in financial analysis or relevant fields.
• Diploma certificate or lower qualification; and
• At least 8 years experience in financial analysis or relevant fields.
• At least 3 years experience in financial analysis or relevant fields; and
• One of the following alternative qualifications: AFA, CIP, CQF, CFA

Responsibilities

• Conduct Compliance Calls with clients following the provision of financial advice.
• Reaffirm the client's understanding of the advice and recommended financial plan.
• Confirm the client's understanding of applicable fees, charges and commissions.
• Confirm that the client has had an opportunity to ask questions regarding the advice.
• Obtain and document client feedback regarding the advice and adviser.
• Identify and elevate any misunderstandings, concerns, dissatisfaction or potential complaints.
• Maintain accurate records of Compliance Calls and any required follow-up.
• Conduct calls objectively and without influencing or coaching the client's responses.

Skills

Compliance oversight

Financial analysis

Record keeping

Communication

Attention to detail

Education

University degree

Diploma or lower qualification

Alternative qualification (AFA/CIP/CQF/CFA)

Job description

Compliance Coordinator & Financial Analyst – Dubai, UAE

deVere Acuma is seeking a highly organised and analytical professional to join our Dubai office in a dual-function role covering Compliance Coordination and Financial Analysis.

This position combines compliance oversight, financial analysis and quality assurance within an international wealth management environment. It is suited to someone with strong attention to detail, sound financial knowledge and the ability to review documentation and identify potential compliance or advisory issues.

Compliance Coordinator

• Conduct Compliance Calls with clients following the provision of financial advice.
• Reaffirm the client's understanding of the advice and recommended financial plan.
• Confirm the client's understanding of applicable fees, charges and commissions.
• Confirm that the client has had an opportunity to ask questions regarding the advice.
• Obtain and document client feedback regarding the advice and adviser.
• Identify and elevate any misunderstandings, concerns, dissatisfaction or potential complaints.
• Maintain accurate records of Compliance Calls and any required follow-up.
• Conduct calls objectively and without influencing or coaching the client's responses.
• The Compliance Coordinator does not provide financial advice or make recommendations to clients.

Financial Analyst

• Perform tasks and activities relating to financial analysis.
• Analyse financial information and data relevant to clients financial circumstances and objectives.
• Prepare financial analyses, calculations, comparisons and supporting reports.
• Provide financial analysis to support the preparation of financial advice and recommendations.
• Maintain appropriate records and working papers to support the analysis performed.
• Ensure financial analysis is accurate, objective and based on appropriate information.
• Identify and elevate any material inconsistencies or concerns to the relevant authorised person.
• Perform duties in accordance with applicable CMA requirements and Acuma LLC's internal policies and procedures.

CMA Qualification and Experience Requirements

The Financial Analyst must satisfy one of the following CMA prescribed qualification and experience routes:

Route 1 – University Degree

• University degree/certificate; and
• At least 3 years experience in financial analysis or relevant fields.

Route 2 – Diploma or Lower Qualification

• Diploma certificate or lower qualification; and
• At least 8 years experience in financial analysis or relevant fields.

Route 3 – Alternative Qualification

• At least 3 years experience in financial analysis or relevant fields; and
• One of the following alternative qualifications:
• Accredited Financial Analyst (AFA)
• Certified Investment Professional (CIP)
• Certificate in Quantitative Finance (CQF)
• Chartered Financial Analyst (CFA)

This is an excellent opportunity to take on a varied and responsible role within our Dubai operation, working across compliance, financial analysis and quality assurance within an international wealth management business.